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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-01 |
| MO | RA | APPROVED | 2024-05-17 |
| HI | RA | APPROVED | 2024-03-13 |
| ID | RA | APPROVED | 2024-02-23 |
| TX | RA | APPROVED_RES | 2023-10-16 |
| NC | RA | APPROVED | 2023-09-25 |
| MS | RA | APPROVED | 2023-07-27 |
| VT | RA | APPROVED | 2023-07-07 |
| MD | RA | APPROVED | 2023-06-26 |
| GA | RA | APPROVED | 2023-06-20 |
| AL | RA | APPROVED | 2023-06-06 |
| AZ | RA | APPROVED | 2023-04-28 |
| MA | RA | APPROVED | 2023-02-15 |
| FL | RA | APPROVED | 2022-11-14 |
| WA | RA | APPROVED | 2022-03-24 |
| NY | RA | APPROVED | 2021-04-16 |
| VA | RA | APPROVED | 2020-10-14 |
| MN | RA | APPROVED | 2020-10-08 |
| NE | RA | APPROVED | 2020-07-16 |
| CO | RA | APPROVED | 2015-05-23 |
| IL | RA | APPROVED | 2013-11-12 |
| SC | RA | APPROVED | 2013-03-07 |
| PA | RA | APPROVED | 2011-04-08 |
| CT | RA | APPROVED | 2009-08-21 |
| NJ | RA | APPROVED | 2008-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | Saddle Brook | NJ | 02/2016 | 12/2016 |
| Park Avenue Securities | Saddle Brook | NJ | 02/2016 | 12/2016 |
| Guardian Life Insurance | New York | NY | 01/2017 | 09/2018 |
| Park Avenue Securities | New York | NY | 01/2016 | 09/2018 |
| Guardian Life Insurance | Paramus | NJ | 04/2018 | Present |
| Park Avenue Securities | Paramus | NJ | 04/2018 | Present |
1. Agency/Agent Training Services-I occasionally provide training services directly to Agencies and/or Agents in areas of business such as practice management and practice building. Start: 04/01/2009, Address: 43 Forest Hills Way, Cedar Grove, NJ 07009, 1 bus hr per month, Not investment related, 2. CONSULTING AND TRAINING SERVICES FOR GUARDIAN-I maintain a Service Agreement with Guardian Life Insurance Company of America under which I provide occasional training to Guardian Agencies on the topic of macro-economic planning and the use of the Living Balance Sheet system. Start: 10/01/2006, Address: 43 Forest Hills Way, Cedar Grove, NJ 07009, Hrs per month - Tot/Bus: 8/6, Not investment related, 3. Outside Insurance Sales- I may sell an insurance product through a carrier other than Guardian. Start: 04/01/2011, Address: 43 Forest Hills Way, Cedar Grove, NJ 07009, 0 hrs per month, Investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-19 |
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